Regulatory Compliance Lead, Financial Services

EisnerAmper; Minneapolis (MN); Hybrid; USD 85,000 - 120,000; Full time

Job summary

Prosperity - An EisnerAmper Company is seeking a detail-oriented Compliance professional to support the firm's regulatory compliance program. You will help review policies, monitor regulatory filings, and assist with examinations while collaborating across teams to strengthen compliance practices.

You will play a key role in ensuring adherence to laws and internal policies, maintaining a culture of integrity and accountability, and supporting the firm’s growth in retirement plan services.

Qualifications

• Bachelor's degree in Finance, Business, Economics, Accounting, Legal Studies, or related field.
• 3-5 years of experience in compliance, regulatory affairs, audit, operations, or the financial services industry.

Responsibilities

• Support the day-to-day administration, monitoring, and maintenance of the firm's regulatory compliance program.
• Assist with reviewing, updating, and implementing compliance policies and procedures to ensure alignment with regulatory requirements and firm standards.
• Maintain and monitor the compliance calendar, ensuring regulatory filings, internal reviews, and compliance obligations are completed accurately and on time.
• Review new account opening documentation to ensure completeness, accuracy, and adherence to regulatory and internal compliance requirements.
• Assist with regulatory examinations, audits, and information requests by gathering documentation, organizing records, and coordinating timely responses.
• Conduct due diligence reviews of vendors and third-party service providers, including monitoring ongoing compliance requirements.
• Review marketing, advertising, and client-facing materials to ensure compliance with applicable regulations and firm policies.
• Support the administration of the firm's Code of Ethics program, including employee attestations, personal trading reviews, and related compliance monitoring.
• Stay informed of regulatory developments and industry trends, helping communicate relevant updates and potential impacts to employees and management.
• Serve as a resource for employees regarding compliance-related questions, escalating potential concerns or regulatory issues when appropriate.
• Collaborate with internal stakeholders to identify opportunities for process improvements and strengthen compliance practices.
• Participate in special projects and other compliance initiatives as needed.
• Travel occasionally to firm offices and training events as required.

Skills

Regulatory compliance

Policy implementation

Regulatory examinations

Risk assessment

Vendor due diligence

Education

Bachelor's degree in Finance, Business, Economics, Accounting, Legal Studies, or related field

Tools

Microsoft Office

Excel

Word

Outlook

Job description

Prosperity - An EisnerAmper Company is seeking a detail-oriented Compliance professional to support the firm's regulatory compliance program. You will help review policies, monitor regulatory filings, and assist with examinations while collaborating across teams to strengthen compliance practices.

You will play a key role in ensuring adherence to laws and internal policies, maintaining a culture of integrity and accountability, and supporting the firm’s growth in retirement plan services.